Private Securities Offerings

As businesses grow, they often need additional funding to support expansion efforts. We can help you negotiate and document the investment or loan you need to grow your business.

State and federal securities laws are complex. It’s important to seek legal counsel before you attempt to raise money from anyone. We have years of experience in helping businesses comply with the securities laws and the exemptions to them and in completing private offerings. A failure to comply with the securities laws may create liability and could interfere with future efforts to raise money.

We help businesses seeking a private sale of securities by:

Identifying the exemption from securities registration that is most appropriate to the business’s goals.

Structuring the deal to meet the requirements of the exemption.

Preparing Regulation D or other offering documents based upon the applicable securities exemption.

Preparing subscription agreements for investors, including the representations that may be necessary to ensure that investors are qualified under the exemption.

Preparing and issuing share certificates.

Preparing and filing notices and other documentation with the states in which securities are offered or sold to comply with securities laws.

Filing the appropriate Regulation D or other offering documents with the Federal Securities and Exchange Commission, as may be required.

If your company is thinking about raising equity or other private financing, please call us before you solicit or accept any money.

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